| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| KGI ASIA LIMITED | Rep | 就证券提供意见 | 2017-10-03 | - |
| Rep | 证券交易 | 2017-10-03 | - | |
| AISANCE ASSET MANAGEMENT LIMITED | Rep | 提供资产管理 | 2006-06-23 | 2013-02-21 |
| KGI ASIA LIMITED | Rep | 就证券提供意见 | 2006-06-23 | 2017-10-02 |
| Rep | 证券交易 | 2004-12-06 | 2017-10-02 | |
| KGI FUTURES (HONG KONG) LIMITED | Rep | 期货合约交易 | 2004-12-06 | - |
| EMPEROR FUTURES LIMITED | Rep | 期货合约交易 | 2003-08-12 | 2004-12-06 |
| EMPEROR SECURITIES LIMITED (HK) | Rep | 证券交易 | 2003-08-12 | 2004-12-06 |
| Open Securities Limited | Rep | 就机构融资提供意见 | 2003-04-01 | 2003-08-12 |
| Rep | 就证券提供意见 | 2003-04-01 | 2003-08-12 | |
| Rep | 提供资产管理 | 2003-04-01 | 2003-08-12 | |
| Rep | 证券交易 | 2003-04-01 | 2003-08-12 |